Compliance Radar
Who was sanctioned, and for what?
Fines, court rulings and incidents from Europe, North America, Latin America, Asia-Pacific, Middle East and Africa: 2,207 cases from 44 jurisdictions, each with an official source and checked against that source before publication. Filter by country, area of law and sector. Click a chart to drill down one level.
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Where?
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What for?
by topicWho?
by company- Becton, Dickinson and Company (BD) €166.7m 100 % · 1 case
- Anonymised companies €300,000 0 % · 2 cases
When?
per year, by date of decision| Period | Cases | Total |
|---|---|---|
| 2023 | 2 | €300,000 |
| 2024 | 1 | €166.7m |
| 2025 | 0 | – |
| 2026 | 0 | – |
3 cases
16 Dec 2024 Becton, Dickinson and Company (BD)Becton Dickinson: risks of Alaris infusion pump concealed – 175 million USD €166.7m
The medical technology manufacturer misled investors about regulatory risks of the Alaris infusion pump, which had more than 25 software defects, and did not record the remediation costs, as a result of which operating income in the fourth quarter of 2019 was overstated by 82 %. BD is paying 175 million USD and must appoint an independent compliance consultant.
Product and approval problems are capital market issues: quality and regulatory affairs departments must be involved in the disclosure process.
- Authority / court
- U.S. Securities and Exchange Commission (SEC)
- Area of law
- Capital markets and financial supervision · Disclosure and reporting obligations
- Legal basis
- Antifraud-, Reporting-, Buchführungs-, interne Kontroll- und Disclosure-Controls-Vorschriften der US-Wertpapiergesetze
- Action
- Fine
- Status of proceedings
- final
- Sector
- Healthcare
Original amount 175,000,000 USD, converted at the ECB reference rate of 16 Dec 2024.
- Becton Dickinson to Pay $175 Million for Misleading Investors About Alaris Infusion Pump Press release of an authority
Checked against the official source on 28 Sep 2026 · Version 2 · Direct link
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27 Nov 2023 a French health products company and a financierAMF: EUR 300,000 in sanctions on a health products company and a financier €300,000
Between October 2017 and May 2019 the health products company listed on Euronext Growth published false or misleading information in twelve press releases and in its 2017 annual financial report, including 2017 revenue increased by unsubstantiated orders from a customer (10.5 instead of 9.74 million EUR) and overly positive statements on the roll-out of its own telemedicine station and on draw-downs under convertible bond financing. The Commission des sanctions of the AMF (Autorité des marchés financiers, French financial markets authority) imposed EUR 200,000 on the company and EUR 100,000 on the financier, which had failed to notify and publish net short positions in the company's shares. The amount covers only the sanctions imposed on the two companies. Whether they are final has not been verified here.
Revenue and project announcements need documented sign-off by several functions – the issuer is liable for embellished announcements even if it regards itself as a victim of its former management.
Accuracy of corporate announcements – market manipulation through misleading information
- Authority / court
- Autorité des marchés financiers (AMF), Commission des sanctions
- Area of law
- Capital markets and financial supervision · Market abuse and insider dealing
- Legal basis
- Art. 12 Abs. 1 lit. c, Art. 12 Abs. 4 und Art. 15 MAR; Art. 5 und 6 Verordnung (EU) Nr. 236/2012 (Leerverkäufe) und Art. 223-37 RG AMF (Negma)
- Action
- Fine
- Status of proceedings
- unknown
- Sector
- Healthcare
- Mitigating circumstances
- The company cooperated and, after a change of management, introduced remedial measures (independent board members, separation of chair and chief executive, multi-step sign-off of press releases, an insider tool); the Commission did not assess their effectiveness.
- Published
- 29 Nov 2023
- AMF, Entscheidungen der Commission des sanctions (Übersicht) (Entscheidung 2023) Decision of an authority
Checked against the official source on 2 Oct 2026 · Company name anonymised since 27 Nov 2025 · Direct link
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30 Aug 2023 a British healthcare groupHealthcare group: dual bookkeeping conceals around 4 billion USD of debt Reprimand or warning
The healthcare group kept two sets of accounting records and, between March 2019 and February 2020, published misleading financial information that understated its debt by around 4 billion USD. The FCA issued a public censure and refrained from imposing a fine so as not to reduce the amounts available to creditors.
Parallel sets of books only come to light if treasury, accounting and auditors obtain credit confirmations independently of one another.
- Authority / court
- Financial Conduct Authority (FCA)
- Area of law
- Capital markets and financial supervision · Market abuse and insider dealing
- Legal basis
- Art. 15 i. V. m. Art. 12 Abs. 1 lit. c MAR; s. 123(3) FSMA 2000 (öffentliche Rüge)
- Action
- Reprimand or warning
- Status of proceedings
- final
- Sector
- Healthcare
- Published
- 17 Nov 2023
- FCA, Final Notices (Übersicht) (Entscheidung 2023) Press release of an authority
Checked against the official source on 28 Sep 2026 · Version 4 · Company name anonymised since 30 Aug 2025 · Direct link